Key Individual
4 weeks ago
Job Title: Key Individual - Financial Services Specialist
Job Summary: We are seeking a highly skilled Key Individual to join our team at Numeral XII (Pty) Ltd. as a Financial Services Specialist. The successful candidate will be responsible for managing and overseeing activities related to the rendering of financial services as a Category I and Category II FSP.
Key Responsibilities:
- Ensure the FSP has Policies & Procedures in place.
- Ensure compliance with the General Code of Conduct and Fit & Proper Requirements.
- Fulfill contractual obligations as per the agreement in place.
- Manage and oversee the Firm's team members rendering the FSP's financial services, including those persons under supervision.
- Ensure business processes are in place and the Firm's operational ability is sustainable.
- Ensure the firm complies with applicable laws and statutory obligations.
Requirements:
- Undergraduate degree, preferred.
- Minimum NQF Level 5 in Finance, Business and/or Wealth Management.
- Minimum 5 years' FSP management experience.
- Must be able to act as KI for a Cat 1 and 2 FSP.
- RE1, RE5 and RE3 Exams required.
- Class of Business if not exempt.
- CPD required.
About Us: Numeral XII (Pty) Ltd. is a young, energetic, and passionate group of companies working in different industries, all focused on becoming market leaders in our fields. Our fast-paced environment will positively challenge you and keep you engaged as you navigate through changing priorities and varying demands.
What We Offer:
- Modern fit-for-purpose people practices.
- Working in a state-of-the-art tech building that includes access to on-site gym to help you grow your fitness as much as you do your brain.
- Two on-site restaurants that will have you inhaling aromas of mouth-watering lunchtime dishes, and freshly brewed coffee.
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